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Filing Details

Accession Number:: 0001209191-20-060575
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-11-25 17:53:00
Reporting Period:: 2020-11-23

Accepted Time:: 2020-11-25 17:53:00
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1596783	Catalent Inc.	CTLT	Pharmaceutical Preparations (2834)	208737688

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1775433	Peter Zippelius	11111 Santa Monica Blvd. Suite 2000 Los Angeles CA 90025		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-11-23	5,392,280	$49.54	5,392,280	No	4	C	Indirect	See footnote.
Common Stock	Disposition	2020-11-23	5,392,280	$99.26	0	No	4	S	Indirect	See footnote.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote.
No	4	S	Indirect	See footnote.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Convertible Preferred Stock	Disposition	2020-11-23	265,223	$49.54	5,392,280	$49.54

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
384,777			No	4	C	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	6,428	Direct

Footnotes

Represents shares of Common Stock of the Issuer, par value $0.01 per share (the "Common Stock") issued to Green Equity Investors VII, L.P. ("GEI VII"), Green Equity Investors Side VII, L.P. ("GEI Side VII"), LGP Associates VII-A LLC ("Associates VII-A"), and LGP Associates VII-B LLC ("Associates VII-B"). The shares were issued upon the conversion of shares of Series A Convertible Preferred Stock, par value $0.01 per share ("Series A Convertible Preferred Stock") as described in note 7 to this Form 4. Of the newly-issued shares of Common Stock reported in this row, 2,409,421 were issued to GEI VII, 2,847,068 were issued to GEI Side VII, 13,601 were issued to Associates VII-A, and 122,190 were issued to Associates VII-B.
Represents shares owned by GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B. Of the shares of Common Stock reported, 2,409,421 shares are owned by GEI VII, 2,847,068 shares are owned by GEI Side VII, 13,601 shares are owned by Associates VII-A, and 122,190 shares are owned by Associates VII-B.
Mr. Zippelius directly (whether through ownership or position), or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B. Mr. Zippelius disclaims beneficial ownership of the shares held by each of GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B except to the extent of his pecuniary interest therein, and this report shall not otherwise be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Represents shares of Common Stock sold by GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B. Of the shares reported, 2,409,421 were sold by GEI VII, 2,847,068 were sold by GEI Side VII, 13,601 were sold by Associates VII-A, and 122,190 were sold by Associates VII-B.
Represents shares of Common Stock owned by GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B. Of the shares reported, 0 are owned by GEI VII, 0 are owned by GEI Side VII, 0 are owned by Associates VII-A, and 0 are owned by Associates VII-B.
Represents shares of Common Stock underlying restricted stock units. The shares reported on this row are held by Mr. Zippelius for the benefit of Leonard Green & Partners, L.P. Each restricted stock unit represents the right to receive one share of Common Stock. Of the 6,428 shares of Common Stock reported, 3,642 are vested, 661 will vest on August 27, 2021, and 2,125 will vest on the earlier of October 29, 2021 and the date of the Issuer's fiscal 2020 annual meeting of shareholders.
The Series A Convertible Preferred Stock was acquired for $1,000.00 per share and is convertible into Common Stock of the Issuer at a conversion price of $49.5409 per share. The conversion price is subject to certain anti-dilution and other adjustments.
Immediately.
The Series A Convertible Preferred Stock does not have an expiration date.
GEI VII, GEI Side VII, Associates VII-A, and Associates VII-B are the direct owners of the shares reported herein. Of the shares of Series A Convertible Preferred Stock reported, 171,928 are owned by GEI VII, 203,156 are owned by GEI Side VII, 972 are owned by Associates VII-A, and 8,721 are owned by Associates VII-B.